Combined Synopsis Solicitation Commercial Products and Commercial Services - EAP Services.docx

Attachment 1: Combined Synopsis-Solicitation for Commercial Products and Commercial Services

RFQ # 36C24124Q0865

Description This is a combined synopsis/solicitation for commercial products and commercial services prepared in accordance with the format in Federal Acquisition Regulation (FAR) subpart 12.6, “Streamlined Procedures for Evaluation and Solicitation for Commercial Products and Commercial Services,” as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes are being requested, and a written solicitation document will not be issued.

This solicitation is issued as an RFQ. The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular 2024-05 dated 5/22/2024.

This solicitation is a 100% set-aside for Service-Disabled Veteran Owned Small Business (SDVOSB).

The associated North American Industrial Classification System (NAICS) code for this procurement is 541612, with a small business size standard of $29 Million.

The FSC/PSC is R431.

The Network Contracting Office (NCO) 1 New England on behalf of VISN 1 – New England Healthcare System is seeking to purchase Employee Assistance Program (EAP) Services.

All interested companies shall provide quotations for the following:

Supplies/Services

*To include 12 hours of Critical Incident Stress Management and 16 hours of training and orientation sessions per year.

(STATEMENT OF WORK)

PART 1 - GENERAL INFORMATION

1. GENERAL: This is a non-personal services contract to provide Employee Assistance Program (EAP) services to on-site and remote employees of VA facilities located in Massachusetts, Connecticut, Maine, New Hampshire, Vermont, and Rhode Island which are assigned to the Veterans Integrated Service Network (VISN) 1. The Government shall not exercise any supervision or control over the contract service providers performing the services herein. Such contract service providers shall be accountable solely to the Contractor who, in turn, is accountable to the Government.

1.1 Description of Services/Introduction: The purpose of EAP is to provide appropriate one-on-one professional counseling services for prevention, treatment, and rehabilitation of employees with alcohol, drug abuse, or other biopsychosocial problems that are adversely affecting the employee’s job performance and/or conduct. Biopsychosocial problems may include physical, emotional, financial, marital, family, legal, or vocational issues. EAP services may be made available to immediate family members as needed in assisting the employee. Verification of eligibility will be made by viewing employee identification issued by the healthcare system.

It is the policy of the Federal Government to offer appropriate prevention, treatment, and rehabilitation programs and services for employees with alcohol and/or drug problems. To the extent feasible, agencies are encouraged to extend services to families of alcohol and/or drug abusing employees, and to employees who have eligible family members who have alcohol and/or drug problems. Executive Order 12564, 51 Federal Regulation 32889 (Sept. 15, 1986) establishes standards for a Drug-Free Federal Workplace and requires agencies to have Employee Assistance Programs providing assessment, counseling, referral for treatment or rehabilitation, as appropriate. Short- term counseling and referral services that include education and coordination with community resources constitute the appropriate prevention, treatment, and rehabilitation services for alcohol and drug abuse in accordance with these requirements.

The contractor will be expected to provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform EAP services as defined in this Statement of Work (SOW) except for those items specified as government furnished property and services. The contractor shall perform to the standards in this contract.

Services will be provided in locations convenient for employees working at and primarily residing near the facility locations identified in technical exhibit 3. There shall be no hidden charges, fees, or billed services to employees for services rendered in accordance with this SOW, including parking expenses at the contractor’s site location.

MASSACHUSETTS:

· VA New England Healthcare Network Employees (remote and based at facilities).

· VA Boston Healthcare System (3 medical centers and 5 outpatient clinics).

· VA Bedford Healthcare System (Edith Nourse Rogers Memorial Veterans’ Hospital and 3 outpatient clinics).

· VA Central Western Massachusetts Healthcare System (1 medical center and 6 outpatient clinics).

CONNECTICUT:

· VA Connecticut Healthcare System (2 medical centers and 6 outpatient clinics).

MAINE:

· VA Maine Healthcare System (1 medical center; 7 outpatient clinics and two Access Clinics).

NEW HAMPSHIRE:

· VA Manchester Healthcare System (1 medical center and 5 outpatient clinics).

VERMONT:

· VA White River Junction Healthcare System (1 medical center and 7 outpatient clinics).

RHODE ISLAND:

· VA Providence Healthcare System (1 medical center and 5 outpatient clinics).

1.2 Background: The VA facilities located in Massachusetts, Connecticut, Maine, New Hampshire, Vermont, and Rhode Island that are assigned to VISN 1, provide health care services to Veterans of the U.S. Armed Services. Part of the care provided to Veterans involves providing services in the form of guidance and support to hospital staff. Employees of these facilities are in need of contracted support for employee counseling services.

1.3 Objectives:

· Provide EAP Services for VISN 1 employees.

· Provide ongoing EAP awareness training and outreach.

· Provide Team Building/Conflict Resolution/Organization Development Assessments.

· Provide Critical Incident Stress Management.

1.4 Scope: The contractor shall establish and coordinate an EAP to provide services as specified herein based on the fixed estimate of the number of employees anticipated to seek assistance in a given month for each health care system. The program shall be established in close collaboration and under general oversight of the Contracting Officer’s Representative (COR) and the designated points of contact (POC)at each health care system. Services will be provided at the contractor’s facilities. One counseling facility must be provided and located within a 30-minute commute or 15 miles of each primary location of each health care system. The ability to provide facilities near each of the clinics is desirable.

The contractor shall provide all resources necessary to accomplish the tasks and deliverables described in this SOW. The contractor will independently provide support services to satisfy the overall operational objectives of VISN 1. The primary objective is to provide services and deliverables through performance of employee counseling and assistance services that may be needed by the Department of Veteran Affairs employees employed at VISN 1 facilities, to include outlying clinics and locations (Community Based Outpatient Clinics (CBOC), mobile clinics etc. or equivalent)). These services are to be brief, focused, crisis intervention with referral for appropriate treatment.

The program provided shall be multi-faceted, providing confidential assessment, short- term counseling and/or referral for those presenting with personal problems; biannual training seminars for managers and supervisors on using EAP services to help deal with the troubled employee or for conflict resolution, sexual harassment, workplace violence, or for staff as requested by Human Resources; workshops for staff to identify and help resolve behavioral, health, or job performance problems; education, assessment referral, and back-to-work services for alcohol and drug problems, as needed to comply with the policies of each health care system; and consultation with Human Resources regarding employees with job performance issues, who may benefit from referral to EAP.

Any care which cannot be accomplished within the eight visits, per identified problem, per person, per year and/or is not classified by the most current edition of the DSM (Diagnostic & Statistical Manual of Mental Disorders) as a psychiatric disorder will be referred to an appropriately credentialed treatment provider, if so desired and agreed upon by the employee. The Program Coordinator or appropriately trained counselors shall only make referrals. Charges for services not covered by this SOW will be the responsibility of the employee. The contractor is required to inform the employee of the charges he/she will be responsible for prior to performing or scheduling any services.

Additionally, with regard to referrals, the contractor shall make every effort to locate services for which the employee’s insurance will provide coverage, locate services with options for financial assistance available, and/or suggest veteran employees eligible for treatment through VA seek that as an option. Recommendations for treatment and/or referral may be made, but case file documentation must support that the employee is aware that it remains the employee’s responsibility to maintain job performance whether they choose to utilize EAP or not.

Counselors may refuse to provide services if a client is unwilling to cooperate. However, every effort to encourage an employee to seek/continue treatment shall be made. In the case of failure to cooperate or an employee dropping out of the program prior to satisfactory resolution, the case file shall be documented to indicate the relevant facts.

When management referrals to EAP are due to unacceptable, unusual, or deviant behavior, the Program Coordinator or EAP Counselor shall have documented dialogue with the referring office/individual to define the job behavior which resulted in the referral. The referred employee will be required to comply with attendance for at least one session.

Management shall be notified of the employee’s attendance and compliance with recommendations provided, for all employees who have been referred by other than self (i.e., supervisor, Human Resources, etc.).

1.5 Period of Performance: The period of performance shall be for one (1) Base Period and four (4) 12-month option periods. The Period of Performance reads as follows:

1.6 Quality Control (QC): The contractor shall develop and maintain an effective quality control program to ensure services are performed in accordance with this SOW. The contractor shall develop and implement procedures to ensure appropriate counseling services are being provided. The contractor’s quality control program ensures that work complies with the requirements of the contract. A proposed Quality Control Plan shall be submitted with the offeror’s proposal.

The quality control plan shall include an on-going quality improvement program designed to objectively and systematically monitor and evaluate the quality and appropriateness of patient care, resolve identified problems, and pursue opportunities to improve patient care. The contractor shall implement a case review process which will consist of reviewing ten percent (10%) of cases anonymously, including the presenting problems/symptoms, treatment plan including referral, and outcome. Cases reviewed will include a representative from all case types that were seen during the last 12 months. The quality control plan shall also describe how satisfaction surveys will be conducted. The contractor will maintain a record of patient complaints, to include problem/resolution, in a retrievable file.

1.7 Quality Assurance: The government shall evaluate the contractor’s performance under this contract in accordance with the requirements identified in Technical Exhibit 1. The requirements are designed to ensure the contractor meets performance requirements and identify the means by which the Government will monitor the contractor’s performance. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable defect rate(s).

1.8 Recognized Holidays: Contractor is not required to perform in-person services on the following holidays.

Christmas Day

1.9 Hours of Operation: The contractor shall provide general services from 8:00 am to 4:30 pm, Monday-Friday, in Eastern Standard time zones. Evening hours from 4:30-9:00 pm will be available as needed for evening appointments. This does not preclude the contractor from offering services after the stated hours for emergency intervention or employee convenience; however, there shall be no additional charge for after-hours service or during federally recognized holidays. Routine appointments shall be established within 24 hours of initial contact and occur within 3 days or at the client’s earliest convenience.

Telephonic emergency crisis intervention service shall be available 24 hours per day, 7 days per week. Emergency appointments shall be available within 24 hours of contact.

Secure web (online) resources and information and tools will be available twenty-four.

(24) hour, seven (7) days per week.

1.10 Place of Performance: The majority of the work to be performed under this contract will be performed at the contractor’s facility.

1.11 Security Requirements:

1.111 Confidentiality: Proper confidentiality should be maintained regarding identifying and personal information of clients and/or family members to include social security numbers, telephone numbers, and interview information. Security will be maintained both physically and with automation equipment. Ethics and standards of confidentiality will be followed according to industry professional standards of conduct.

To ensure employee confidentiality, the contractor shall be monitored by a blind survey procedure during the contract performance period.

1.112 Case Files – Privacy Act: The contractor shall maintain complete, individual case files for all employees referred for assistance, consistent with industry standards. Case files shall be maintained in accordance with the confidentiality requirements of PL 93-282 and the implementing Federal Regulations, section 2.11(n) of 42 CFR Part 2 and PL 93-579 (Privacy Act).

Medical records of employees with alcohol and/or drug abuse problems will be protected in accordance with sections 523 and 527 of the Public Health Services Act, 42 U.S.C. 290dd-3 and 290ee-3, which is implemented by 42 CFR, part 2.

The counseling records of employees' biopsychosocial problems will be protected in the same manner to ensure confidentiality and will be maintained and disposed of in accordance with applicable VA records control schedules and the General Records Schedule 1.

1.113 VHA Privacy Awareness: Pursuant to the Veteran Health Administration (VHA) Privacy Principles and Practices, contractors are now being provided with the VHA Privacy Awareness Training and are required to complete the training by September 30th of each year. A listing of employees who will provide service under this contract may be required in order to register them in VA’s Talent Management System (TMS) to complete the training.

The contractor may substitute its own Privacy Awareness Training that meets the requirements of the Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule as determined by VHA.

1.114 Health Insurance Portability and Accountability Act of 1996 (HIPAA): In accordance with 45 CFR 164.502(e), the Privacy Rule includes exceptions to the Business Associate standard. This contract and its requirements meet the following exception and does not require a Business Associate agreement in order for Covered Entity to disclose Protected Health Information to a health care provider for treatment. Based on this exception, a Business Associate agreement is not required for this contract.

1.115 Records Management:

The following standard items relate to records generated in executing the contract and should be included in a typical procurement contract:

1. Citations to pertinent laws, codes, and regulations such as 44 U.S.C chapters 21, 29, 31 and 33; Freedom of Information Act (5 U.S.C. 552); Privacy Act (5 U.S.C. 552a); 36 CFR Part 1222 and Part 1228.

2. Contractor shall treat all deliverables under the contract as the property of the U.S. Government for which the Government Agency shall have unlimited rights to use, dispose of, or disclose such data contained therein as it determines to be in the public interest.

3. Contractor shall not create or maintain any records that are not specifically tied to or authorized by the contract using Government IT equipment and/or Government records.

4. Contractor shall not retain, use, sell, or disseminate copies of any deliverable that contains information covered by the Privacy Act of 1974 or that which is generally protected by the Freedom of Information Act.

5. Contractor shall not create or maintain any records containing any Government Agency records that are not specifically tied to or authorized by the contract.

6. The Government Agency owns the rights to all data/records produced as part of this contract.

7. The Government Agency owns the rights to all electronic information (electronic data, electronic information systems, electronic databases, etc.) and all supporting documentation created as part of this contract. Contractor must deliver sufficient technical documentation with all data deliverables to permit the agency to use the data.

8. Contractor agrees to comply with Federal and Agency records management policies, including those policies associated with the safeguarding of records covered by the Privacy Act of 1974. These policies include the preservation of all records created or received regardless of format [paper, electronic, etc.] or mode of transmission [e-mail, fax, etc.] or state of completion [draft, final, etc.].

9. No disposition of documents will be allowed without the prior written consent of the Contracting Officer. The Agency and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. 2701. Records may not be removed from the legal custody of the Agency or destroyed without regard to the provisions of the agency records schedules.

10. Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (sub-contractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under, or relating to, this contract. The Contractor (and any sub-contractor) is required to abide by Government and Agency guidance for protecting sensitive and proprietary information.

1.116 Eligibility for Services: Services shall be provided for all employees located at each health care system and their outlying clinics (CBOCs, mobile clinics, etc. or equivalent). EAP Services may be made available to immediate family members as needed in assisting the employee per Veterans Health Administration Handbook 5019, paragraph 2.a.(3). Immediate family is defined as spouse, children, and stepchildren. Significant other is defined as the individual whom the employee shares a household with and has a significant emotional relationship. Significant emotional relationship is defined as a relationship similar to that of a spouse.

Verification of eligibility will be made by viewing employee identification issued by the health care system, samples of the employee badges will be provided during the contract kick off meeting.

1.117 Employee Transportation: Each employee will be responsible for his/her own transportation to appointments.

1.118 Referrals: Requests for employee assistance program services may be made by the employee (self-referral) and by the Contracting Officer’s Representative (management-directed).

Management-directed referrals include those requested by a manager/supervisor, union representative, or member of the facility’s occupational health office and may involve a single employee or a group of employees.

1.119 Special Qualifications of Contract Personnel: The contractor shall ensure all personnel performing under this contract:

· Licensed and/or certified staff for the specialty area required by the inquiry. This includes but is not limited to all applicable state and professional licenses for the specialty concerned.

· Master’s Degree for Social Worker and PhD for Psychologist

· Standardized credentialing processes, including maintenance of credentialing records to ensure providers are properly credentialed and privileged to provide necessary services. The credentialing process should verify the provider’s malpractice claims, verification of licensures/certifications, and any Medicare/Medicaid sanctions.

· Contractor’s patient records shall be maintained in accordance with all applicable regulations.

· The contractor agrees to assign referrals to the appropriate qualified staff as represented in its proposal.

· Contractor shall identify each person functioning as Key Personnel under this contract. At a minimum, key personnel are defined as the project manager who will interface with the COR and facility POCs, and a clinician who will be serving in the close proximity of each primary facility location.

The contractor shall provide, at the request of the Contracting Officer or Contracting Officer’s Representative, documentation of qualifications, training, and experience of personnel performing under this contract. Failure to ensure personnel meet the necessary qualifications may be cause for termination of the contract. Qualifications of contractor personnel shall be subject to review.

The government will have the right to request the Contractor replace any individual who is determined by the government to be a security risk, has been determined to have violated client confidentiality/privacy, or has been determined to be under the influence of alcohol or drugs or is physically or mentally impaired to the extent that they cannot perform tasks established in this PWS. This determination shall be made within the sole discretion of the Contracting Officer or his/her designee. This determination shall not relieve the Contractor from meeting the performance requirements of this contract.

1.120 Substitution of Personnel: The contractor agrees that during the first ninety (90) days of the contract performance period, no personnel substitutions shall be permitted unless such substitutions are necessitated by an individual’s sudden illness, death, or termination of employment. In any of these events, the contractor shall immediately notify the Contracting Officer or the Contracting Officer’s Representative and provide the information required below.

After the initial 90-day period, all proposed substitutions must be submitted, in writing, at least fifteen (15) days in advance of the proposed substitutions to the Contracting Officer or the Contracting Officer’s Representative and provides the information required below.

Requests for substitutions shall include: a detailed explanation of the circumstances necessitating the proposed substitution; resume for the proposed substitute; financial disclosure statement; and other information requested by the Contracting Officer or the Contracting Officer’s Representative necessary to review and approve or disapprove. All proposed substitute personnel shall have the equivalent qualifications as the person they are replacing.

1.121 Post Award Conference/Periodic Progress Meetings: The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5. The Contracting Officer, COR, and other Government personnel, as deemed appropriate by the Contracting Officer or COR, may meet periodically with the contractor to review the contractor's performance. At these meetings the Contracting Officer or COR will apprise the contractor of how the government views the contractor's performance and the contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the government.

1.122 Contracting Officer Representative (COR): The COR will be identified by letter. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: ensure that the Contractor performs the technical requirements of the contract, perform inspections necessary in connection with contract performance, maintain written and oral communications with the Contractor concerning technical aspects of the contract, issue written interpretations of technical requirements, specifications: monitors Contractor's performance and notifies both the Contracting Officer and Contractor of any deficiencies. The COR is not authorized to change any of the terms and conditions of the contract or any resulting task orders.

1.123 Transportation and Travel Time: The contract price shall include the transportation of contractor personnel. No additional charges shall be authorized for any transportation expenses incurred during the performance of this contract.

1.124 Performance Survey Procedures: The contractor shall provide a performance survey form. The anonymous performance survey shall be offered to all employees at the conclusion of their counseling. Surveys of services provided shall be provided to the COR in an analysis format on a quarterly basis.

1.125 Contractor Reports: The contractor shall provide statistical reports on a monthly and annual basis in Word format to the designated facility POC and COR on all active cases. The report shall include, at a minimum, number of employees counseled, classification of problem, family involvement, and case disposition. In addition, the report shall include the number of training sessions conducted including a summary of the training material covered and the number of attendees. See Technical Exhibit 4, Deliverable Specifications.

No individual employee-identifying information shall be contained in these reports.

1.21 Verification of Management-Directed Referrals: The contractor shall issue a verification of attendance to the COR on the next business day on all employees who have been management-directed to obtain counseling services, whether or not the employee has requested leave to attend counseling.

1.22 Financial Disclosure Statement: If requested by the Government, the contractor agrees that all personnel performing under this contract shall provide a financial disclosure statement detailing the extent of any financial interest in any community treatment facility or other resource to which employees might be referred as a result of their counseling under the EAP.

1.23 Administration:

1.231 Correspondence: All correspondence shall be submitted through the COR within the established suspense dates and time limits and shall be accurate, complete, and submitted to the correct office or person. Client confidentiality shall be protected at all times when preparing and sending written material or electronic messages.

1.232 Release of Information: Non-confidential information will be released to requesting military or civilian agencies on a need-to-know basis as determined by the COR. Confidential information will be released upon obtaining the appropriate consent for release of information form signed by the client.

1.233 Training: Cost of needed training will be at Contractor’s expense.

1.24 Over and Above Services: The monthly service includes EAP-related services to include Critical Incident Stress Management, Team Building/Conflict Resolution Services, and Training/Educational Services. Any additional EAP-related services will be exercised through a task order modification at the rates established in the schedule.

PART 2 - DEFINITIONS & ACRONYMS

2 DEFINITIONS AND ACRONYMS:

2.117 CONTRACTOR. A supplier or vendor awarded a contract to provide specific supplies or service to the government. The term used in this contract refers to the prime.\CONTRACTING OFFICER. A person with authority to enter into, administer, and or terminate contracts, and make related determinations and findings on behalf of the government. Note: The only individual who can legally bind the government.

2.118 CONTRACTING OFFICER'S REPRESENTATIVE (COR). An employee of the U.S. Government appointed by the contracting officer to administer the contract. Such appointment shall be in writing and shall state the scope of authority and limitations. This individual has authority to provide technical direction to the Contractor as long as that direction is within the scope of the contract, does not constitute a change, and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

2.119 DEFECTIVE SERVICE. A service output that does not meet the standard of performance associated with the Performance Work Statement.

2.120 DELIVERABLE. Anything that can be physically delivered but may include non-manufactured things such as meeting minutes or reports.

2.121 KEY PERSONNEL. Contractor personnel that are evaluated in a source selection process and that may be required to be used in the performance of a contract by the Key Personnel listed in the PWS. When key personnel are used as an evaluation factor in best value procurement, an offer can be rejected if it does not have a firm commitment from the persons that are listed in the proposal.

2.122 PHYSICAL SECURITY. Actions that prevent the loss or damage of Government property.

2.123 QUALITY ASSURANCE. The government procedures to verify that services being performed by the Contractor are performed according to acceptable standards.

2.124 QUALITY CONTROL. All necessary measures taken by the Contractor to ensure that the quality of an end product or service shall meet contract requirements.

2.125 SUBCONTRACTOR. One that enters into a contract with a prime contractor. The Government does not have privity of contract with the subcontractor.

2.126 WORKDAY. The number of hours per day the Contractor provides services in accordance with the contract.

2.127 WORK WEEK. Monday through Friday, unless specified otherwise.

2.128 ACCESSIBILITY. Those provisions as stipulated by the Americans with Disabilities Act of 1990, as they apply to the Federal community through the Rehabilitation Act of 1973, as amended, providing disabled consumers physical and communications access to services. In addition, it also relates to “the opportunity of consumers to obtain services based on the location of service, hours of operation, and affordable fees.” 1 Council on Accreditation (COA) Glossary, 7th Edition/Version 1.1.

2.129 ACCREDITATION. The formal evaluation of an organization against generally accepted criteria or standards. A professional society, non- governmental organization or a governmental agency may conduct accreditation activities. 2 Ibid. Currently, there is no Federal, state, or local requirement for an EAP to obtain accreditation in order to provide services.

2.130 AFFILIATES. “An individual or group of professional mental health practitioners,” or other service-oriented entities “who, through a contractual relationship with the prime Contractor, provide EAP services to Federal employees.” 3 Federal Occupational Health (FOH) definitions, as modified by the subcommittee. This arrangement occurs when the prime contractor, in an attempt to satisfy the elements of a Federal EAP contract, hires subcontractors to perform some or all of the requirements of the contract, as part of an external or blended EAP model.

2.131 AGENCY POPULATION. Those Federal employees who are full-time, part- time, wage-grade, term, and other directly compensated employees, receiving a W-2 for tax purposes, who are not employees of contractors. This count is usually the number used in tabulating the agency’s EAP utilization rate. (Also see Covered Lives).

2.132 ASSESSMENT. An ongoing process or evaluation in which professional expertise and skills are exercised to collect and analyze data, which in cooperation with the client, results in identifying, defining, and prioritizing the client’s physical, mental, and social issues, problems, or challenges. An assessment provides for an accurate diagnosis of the client and the basis for a treatment or problem-solving plan. 4 COA Glossary, 7th Edition/Version 1.1 and subcommittee language.

2.133 ASSESSED PRIMARY PROBLEM. An issue or problem determined by the EAP counselor to be the core issue (such as a mental health concern, work/life issue, and/or medical manifestations) that, once addressed, should result in the resolution or mitigation of the symptoms and/or problems of the client.

2.134 ASSESSED SECONDARY PROBLEM. Additional issues that directly affect the primary problem and are often a consequence of the primary problem.

2.135 ASSESSED TERTIARY PROBLEM. Additional problems or issues may need to be addressed, which may be related to, or be independent of, the primary or secondary problem.

2.136 ASSESSMENT AND REFERRAL EAP. An EAP that offers services limited to providing assessment and information and referral to its respective clients. Sessions are limited to conducting the assessment and providing that information to the client including a treatment or problem-solving plan.

2.137 BACK-TO-WORK CONFERENCE. A conference usually arranged by the EAP counselor with the prior consent of the employee/client, to meet with the client’s supervisor, EAP counselor, union representative and other appropriate management and treatment personnel as may be pertinent to the situation, to facilitate the employee’s successful return to work. (Before involving a union representative, the employee’s supervisor should contact the labor relations office to determine what, if any, obligation exists to notify/invite representation.) Such a conference is scheduled following an extended hospitalization or other long-term medical treatment. The conference agenda usually considers the employee’s ongoing treatment and aftercare needs in coordination with the agency’s expectation of the employee’s performance, conduct and attendance. 5 Sub-committee language and Employee Assistance Professionals Association (EAPA) Glossary of Employee Assistance Terminology, 1994, page 4.

2.138 BIOPSYCHOSOCIAL ASSESSMENT. An assessment based on a model of health and illness that links the nervous system, the immune system, behavioral styles, cognitive processing, and environmental factors. 6 American Psychological Association (APA) definition of Psychosocial Model The assessment is performed by a well-trained and licensed mental health professional and is a precursor to any diagnosis, or any short- or long-term mental health counseling or referral.

2.139 BLENDED EAP MODEL. See EAP MODEL

2.140 BRIEF/SHORT-TERM COUNSELING/TREATMENT. Services provided by the EAP counselor to the employee/client for approximately 1 to 6 sessions. The basis for the number of sessions is often determined by the philosophy of the agency and/or financial considerations. When counseling is required beyond the number of sessions originally provided, the EAP counselor is expected to ensure the employee is referred out and the linkage to the new counselor is made.

2.141 CAPITATION RATE. A per-employee dollar amount per year, paid by a federal agency to an external EAP provider for EAP services, under the terms of a contract. In exchange for the payment, the EAP vendor usually provides all contracted services regardless of the level of use (utilization) by agency’s employees and covered family members. 7 EAPA Glossary of Employee Assistance Terminology, 1994, page 4, and subcommittee modification. Thus, if only one employee received services the entire year, the contractor would receive 100% of the agreed-to payment. If hundreds of employees were to receive services, the contractor would have to provide the services at the agreed-to price without any additional consideration.

2.142 CAPITATED RISK. The assumption of responsibility by a clinician or an organization for providing specific services to clients under a pre-established reimbursement agreement,8 and where the contractor assumes the financial risk should the EAP services delivered exceed the contractor’s cost projections. 8 COA Glossary, 7th Edition\Version 1.1, page 2.

2.143 CASE. Represents a discrete unit of contact as defined by the sponsoring Federal EAP (host organization). A case may be defined by agency policy and/or within the parameters of an EAP contract. Thus, an agency can have a counseling (clinical) case, a management/supervisor consultation case, an assessment, and referral only case, or an information & referral only case. When determining utilization, the reporting EAP should identify what type of cases they are reporting and report each as an individual incident rate (i.e.: Counseling cases = 6%, I&R only = 4%, etc.).

2.144 CASE, OPENED. A formal documented client relationship between an EAP counselor and an employee or covered family member, in which a written or electronic record is established after contact has been made between the counselor and the client. As an example, an EAP can report having a specified number of opened “counseling cases,” “I&R cases,” or “assessment and referral cases.”

2.145 CASE MANAGEMENT. The coordinating, monitoring and discharge planning of overall services, by the EAP counselor for the EAP client and Federal agency, to ensure treatment gains are realized and that the employee makes the most benefit of the resources at hand. This is usually a standard component of the EAP vendor’s service and may or may not be provided at an additional charge, when provided by a contractor.

2.146 CHEMICAL DEPENDENCY. Physiological and psychological dependence on a chemical, such as alcohol, tobacco, barbiturate, or narcotic, which results in a number of physical and emotional symptoms such as increased tolerance and withdrawal symptoms when the chemical is removed. 9 Ibid., page 3, and committee modification.

2.147 CLIENT. An individual who is eligible to receive EAP services, as defined by agency policy or contract requirements. A client might include an employee or the employee’s spouse, dependent child, parent, or domestic partner, or a retiree.

2.148 CLIENT RECORD. A written and authenticated compilation of information that describes and documents the assessment and present, prospective, and past services to the consumer. 10 Ibid., page 4. The content of the record may be defined by the Federal agency or by the EAP contractor. The format and content of a client record is usually based on accepted practice standards applicable to the EAP.

2.149 CLIENT SATISFACTION SURVEY. An anonymous and confidential measurement solicited from the EAP client, by the EAP contractor or sponsoring Federal agency, which reflects client satisfaction with EAP services received. A Federal agency may design its own survey instrument or have the contracted EAP design one as part of its contract requirements, with or without the Federal agency’s input. Such measurements should be routinely taken by an acceptable and easily administered means. Whenever possible, the survey instrument should allow for easy tabulation and review. Client satisfaction assessments may include, but are not limited to, such items as timeliness of initial contact, timeliness of service delivered, follow-through, effectiveness in resolving the client’s issues, confidentiality, accessibility, and conformity with the agency’s culture.

2.150 CLINICAL. Of or pertaining to examination, assessment, and direct counseling or treatment, as opposed to experimental or laboratory study. 11 COA, 7th edition\Version 1.1, page 3, modified by including the word “counseling.”

2.151 CLINICAL PERSONNEL/STAFF. Those persons the Federal agency has designated to provide assessment and counseling services through its EAP. Such personnel are usually licensed mental health practitioners or otherwise qualified and trained professionals who provide the treatment or counseling services.

2.152 CLINICAL SERVICES. Those services offered by an EAP counselor in which an assessment and counseling are provided.

2.153 COUNSELING SERVICES. Specialized services and therapeutic interventions provided by both licensed and non-licensed professionals (as permitted by the sponsoring Federal agency) with the purpose of identifying and mitigating or resolving clients’ personal, professional, financial, mental health, or addiction problems or challenges. 12 COA, 7th edition\Version 1.1, page 4, and subcommittee language.

2.154 COUNSELOR, EAP. A specially trained individual, usually licensed in the field of mental health and addictions, who operates in an occupational setting and whose clients may be both management and employees in general.

2.155 COVERED LIVES. The total universe of persons who are eligible for EAP services as defined by the sponsoring (host) agency. A Federal agency might define covered lives as employees and their family members, while another agency may offer services only to employees.

2.156 CRISIS INTERVENTION. A brief type of therapy or counseling, offered to persons involved in a highly emotional or traumatic event, to prevent long-term psychological harm, with the intention of restoring the clients to at least their pre-crisis level of functioning, and referring to long-term treatment resources as may be warranted.

2.157 CRITICAL INCIDENT. An event, usually sudden, unexpected, and potentially life-threatening, “in which a person experiences a trauma, i.e., feels overwhelmed by a sense of personal vulnerability and/or lack of control. Examples of a critical incident are a natural disaster, serious workplace accident, a hostage situation or violence in the workplace.” 13 EAPA Glossary, 1994, page 7, and committee language.

2.158 CRITICAL INCIDENT STRESS DEBRIEFING (CISD). A structured group or individual intervention that encourages the expression of thoughts and feelings about the incident, followed by identification and normalization of symptoms, familiarization with the process of recovery, and referral to appropriate services. The EAP (in cooperation with the host organization), usually schedules a CISD at the worksite with a group of employees directly affected by a critical incident as soon as possible following the traumatic event. 14 Ibid., with “in cooperation with the host organization” added.

2.159 CISD. A concept coined by Jeffrey T. Mitchell, Ph.D.,15 and has become an integral part of the International Critical Incident Stress Foundation (ICISF). It was originally meant to be applied among public safety, disaster response, and military and emergency service personnel by a skilled intervention team. The ICISF contends that a CISD can also be used with virtually any population, including children, when employed by a skilled intervener. Some researchers contend that “scientific studies have resulted in numerous calls for caution and restraint in the use of CISD.” 15 Ibid.

2.160 CRITICAL INCIDENT STRESS MANAGEMENT. The constellation of services or activities that may be used by an organization to respond to and manage a critical incident (core concept was developed by the International Critical Incident Stress Foundation). Services and activities include, but are not limited to, debriefings, outreach to the workforce, psycho-educational activities related to trauma, anniversary responses, etc.16 FOH Definitions.

2.161 DIAGNOSIS. The process by which a social, physical, emotional, or mental problem and its underlying causes are identified by the treating physician, counselor, etc. The process involves collection and analysis of relevant information17 and should be performed by a qualified licensed professional. 17 COA, 7th Edition/Version 1.1, page 5, (modified with the additional phrase “by the treating physician, counselor, etc.”

2.162 DRUG ABUSE. An individual’s excessive use of substances (either legal or illegal) that are consumed in amounts hazardous to the health or safety of the person and/or community.

2.163 DRUG ADDICTION. A state of physiological dependence that results from the abuse of chemical substances. In the absence of the substance, an individual experiences symptom of withdrawal.18 COA (See also Chemical Dependency).

2.164 DRUG FREE WORKPLACE. Those laws, regulations and policies emanating from Executive Order (EO) 12564 of September 15, 1986, and subsequently the Drug-Free Workplace Act of 1988, that ordered Federal employees to refrain from using illegal drugs, whether on or off duty. It mandates that the head of each Executive agency shall develop a plan for achieving the objective of a drug–free workplace. Elements of the plan include establishing a program to test for the use of illegal drugs by employees in sensitive positions; training for managers and employees; and establishment of EAPs that emphasize high-level direction, education, counseling, referral to rehabilitation, and coordination with available community resources. 19 Executive Order 12564 and committee language.

2.165 EMPLOYEE ASSISTANCE PROFESSIONAL. An individual who assists the organization, its employees and their family members with personal and behavioral problems including, but not limited to health, marital, family, financial, alcohol, drug, legal, emotional, or other personal concerns which may adversely affect employee job performance and productivity. The specific activities of an EA professional may include any of the services described under the definition of Employee Assistance Program (below). EA Professionals providing clinical services must be licensed or certified in their state to provide these services. 20 Ibid., page 8-9 Additional credentials may be required by the host organization.

2.166 EMPLOYEE ASSISTANCE PROGRAM. An EAP is a worksite-based program designed to assist in the identification and resolution of work-related and non-work-related productivity problems associated with employees impaired by personal concerns including, but not limited to, health, marital, family, financial, alcohol, drug, legal, emotional, or other personal concerns which may adversely affect employee job performance. The specific core activities of EAPs include (1) services for individuals (such as identification and resolution of job-performance issues related to an employee’s personal concerns, and assessment, referral, and follow-up); (2) services for managers and supervisors (such as assistance in referring employees to the EAP, supervisor training, and management consulting); (3) services for organizations (such as violence prevention/crisis management, group interventions, and employee orientation); and (4) administrative services (such as the development of EAP policies and procedures, outreach, evaluation, and referral resources development).

2.167 EMPLOYEE ASSISTANCE PROGRAM ADMINISTRATOR. The agency staff person responsible for managing all EAP related policies, procedures, and services. This may include acting as the contracting officer’s representative (COR), supervising staff, providing information about the EAP to agency employees and managers, and ensuring the quality of all services provided. The Administrator is usually a federal employee entrusted to look out for the Government’s best interest and may also act as the EAP Liaison.

2.168 EAP LIAISON. Those individuals employed by the sponsoring Federal agency (host) who are responsible for ensuring that the EAP contract is administered in accordance with established policies and procedures. 21 FOH Definitions.

2.169 EAP MODEL. The method of delivering EAP services. While the types of services offered through the EAP may vary in breadth from agency to agency, they are typically delivered through one of 5 basic staffing models. These are:

1. Internal model, where the EAP staff is comprised of Federal employees and there are no contractors involved.

2. External model, where the sponsoring Federal agency has entered into a contract for an outside vendor to provide all EAP-related services.

3. Blended model, where both Federal and contract personnel are involved in the delivery of EAP services. The Federal employees usually have the role of monitoring the EAP contractor’s services, billing, and performance, while also providing counseling and other administrative services.

4. Consortium model, where a group of Federal agencies contracting with one agency or contractor to provide employee assistance services.

5. Peer-Based Programs (or Peer Support Program) – An in-house program, typically delivered through trained peer/coworker volunteers. Usually offers education, training, and referrals.

2.170 EMPLOYEE. See AGENCY POPULATION.

2.171 ETHICS. Formal principles or values for evaluating practices that are right or wrong, good, or bad. Most professional organizations have ethical codes of conduct that define general standards of appropriate professional conduct.

2.172 ETHICAL STANDARDS. A specific set of professional behaviors and values (code of ethics) the employee assistance…